Steve Irwin

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  White Pledges to Weigh Cost of Fiduciary Rule as Ketchum Revives SRO Fight

  By Melanie Waddell, AdvisorOne  |  April 1, 2013

  Just as incoming Securities and Exchange Commission (SEC) Chairwoman Mary Jo White has pledged to lawmakers that she would carefully weigh the costs of a fiduciary rulemaking, Richard Ketchum, CEO of the Financial Industry Regulatory Authority (FINRA), is renewing his call for a self-regulatory organization to oversee advisors.

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  NASAA to Push SEC User Fees, ‘Stay On Guard’ Against FINRA SRO

  By Melanie Waddell, AdvisorOne  |  March 5, 2013

  Chief among state securities regulators’ legislative agenda this year will be pushing SEC user fees, not a FINRA SRO, to better regulate advisors, NASAA President Heath Abshure said Tuesday.

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  2013: The Road Ahead

  By Heath Abshure, NASAA President  |  January 10, 2013

  NASAA will keep a close eye on Congress' attempts to delay or derail Dodd-Frank regs, another round of JOBS act-related legislation and an SRO for advisors.

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  As NASAA’s New President, My Top Priorities: SRO and ‘The Switch’

  By Jack Herstein, NASAA  |  October 3, 2011

  It looks like Rep. Bachus’ draft SRO bill would nationalize the regulation of small- and mid-sized advisors. NASAA believes this would be a costly mistake that will not benefit Main Street investors.

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  Congress Urged to Preserve States' Authority in Any SRO for Advisors

  By Melanie Waddell, AdvisorOne  |  September 14, 2011

  Just as the Pennsylvania Securities Commissioner was warning members of a House subcommittee on Tuesday to not trump states’ authority in potentially requiring an SRO for advisors, the newly christened NASAA president was beating the same drum miles away.